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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-04-25
ME RA APPROVED 2007-07-27
  • TX RA
    APPROVED_RES
    Since 2024-04-25
  • ME RA
    APPROVED
    Since 2007-07-27

Branch Locations

55 Cushing St, Brunswick, ME 04011 • United States

3 Union Park Rd, Topsham, ME 04086 • United States

75 Boulder Way, Biddeford, ME 04005 • United States

671 Broadway, Bangor, ME 04401 • United States

6 Dirigo Dr, Brewer, ME 04412 • United States

10 Venture Way, Bangor, ME 04401 • United States

Northeast Planning Associates, Inc.

43 Constitution Drive, Bedford, NH 03110 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2004-07-28
  • ME RA
    APPROVED
    Since 2004-07-28

Branch Locations

43 Constitution Drive, Bedford, NH 03110 • United States

671 Broadway, Bangor, ME 04401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northeast Planning Associates, Inc. Bangor ME 07/2004 Present
Lpl Financial Llc Bangor ME 07/2007 Present
Previous Registrations
  • 2002-08-20 → 2004-06-25
    Legacy Advisory Services, Inc.
    Newport, ME
Other Businesses

1. 07/23/2007 - NORTHEAST PLANNING ASSOCIATES, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 07/23/2007 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life, health, group benefits, and LTC. 3. 11/16/2007 - Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Time Spent 30% - RIA provides financial planning for a fixed and/or hourly fee. 4. 9/8/2008 - Selman & Company - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life, Accidental Death & Dismemberment. 5. 09/28/2021 - Concierge for Advisors - Investment Related - 671 Broadway, Bangor, ME 04401 - Non-Variable Insurance - Start Date: 06/18/2021 - 10 Hours Per Month/5 Hours During Securities Trading. 6. 3/16/2023 - Maine Wealth Planning - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/3/2022 - 35 Hours Per Month/35 Hours During Securities Trading. 7. 04/13/2023 - Maine Wealth Planning, LLC - Investment Related - At Reported Business Location(s) - Insurance Agency - Principal owner/producer - Start Date 02/23/2023 - 10 Hours Per Month/ 10 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-04-17
S63 Uniform Securities Agent State Law Examination 1995-08-31
  • S66 Uniform Combined State Law Examination
    2002-04-17
  • S63 Uniform Securities Agent State Law Examination
    1995-08-31

View on SEC IAPD

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